Dougherty & Company LLC Innovative Financial Solutions Nationwide

Individual Investors

A Rich Investment History

For nearly 40 years, Dougherty & Company has helped individual investors meet their financial needs by combining the qualities and familiarity of a local brokerage firm with the capabilities and resources of a Wall Street clearing firm.

We are dedicated to developing effective partnerships with our clients by providing sound judgment and investment recommendations. We deliver these through our proprietary research, fundamental analysis and decades of financial experience.

We have a long tradition within the fixed income industry and individual investors benefit from our broad knowledge and experience of bond underwriting and advisory services for a variety of debt issuances, including tax-free municipal bonds, government bonds, mortgage securities and high yield corporate bonds. Within equities, Dougherty & Company offers its own proprietary research on small and midcap stocks while offering clients access to the broad research capabilities of National Financial Services LLC (NFS) for large-cap stocks.

What We Offer

We provide a full-range of investment products and services such as equities, fixed income, managed accounts, packaged products, insurance and other financial planning services.

For equity investors, Dougherty & Company offers its own proprietary research on small and midcap stocks while offering clients access to the broad research capabilities of National Financial Services LLC (NFS) for large-cap stocks. Our Equity Research team provides analysis and insight into dozens of small-cap companies that might not be as heavily followed as other companies. We believe our research allows us to deliver a different perspective on these equity offerings, thereby creating real value for our clients.

Fixed income investors depend on Dougherty & Company’s rich history in public finance, where it has originated more than $45 billion in issuances as managing or co-managing underwriter and placement agent. We have a long tradition within the fixed income industry and individual investors benefit from our broad knowledge and experience of bond underwriting and advisory services for a variety of debt issuances, including tax-free municipal bonds, government bonds, mortgage securities and high yield corporate bonds.

An Open Platform for Success

Our open-architecture platform allows us to fulfill investment objectives by offering a wide array of competitive products and services. By not limiting the investment management selection to only one product provider, our clients have access to extensive financial options. That means we can draw upon the vast resources of the best investment minds and strategies to deliver appropriate investment solutions for our clients.

"Our approach to help clients grow, manage and preserve wealth has earned us the trust and respect of corporations, nonprofit organizations, individuals and families."